80 FR 57026 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 80, Issue 182 (September 21, 2015)

Page Range		57026-57027
FR Document		2015-23527

Federal Register, Volume 80 Issue 182 (Monday, September 21, 2015)

[Federal Register Volume 80, Number 182 (Monday, September 21, 2015)]
[Notices]
[Pages 57026-57027]
From the Federal Register Online [www.thefederalregister.org]
[FR Doc No: 2015-23527]

[[Page 57026]]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-75923; File No. SR-CBOE-2015-075]

Self-Regulatory Organizations; Chicago Board Options Exchange,
Incorporated; Notice of Filing and Immediate Effectiveness of a
Proposed Rule Change To Amend the Fees Schedule

September 15, 2015.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on September 2, 2015, Chicago Board Options Exchange, Incorporated
(``Exchange'' or ``CBOE'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule change as described in
Items I and II below, which Items have been prepared by the Exchange.
The Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
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\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

The Exchange proposes to amend its Fees Schedule. The text of the
proposed rule change is available on the Exchange's Web site (http://www.cboe.com/AboutCBOE/CBOELegalRegulatoryHome.aspx), at the Exchange's
Office of the Secretary, and at the Commission's Public Reference Room.

II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, the Exchange included statements
concerning the purpose of and basis for the proposed rule change and
discussed any comments it received on the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below. The Exchange has prepared summaries, set forth in
sections A, B, and C below, of the most significant aspects of such
statements.

A. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

1. Purpose
The Exchange proposes to amend the Fees Schedule. Specifically, the
Exchange proposes to make changes to the Facility Fees section of the
Fees Schedule and in particular, the Notes section associated with the
Floor Broker Workstation (``FBW'') and Floor Broker Workstation 2
(``FBW2'') line-items. Pursuant to that section, the Exchange charges a
Trading Permit Holder (``TPH'') a monthly fee of $400.00 per login ID
per month for the use of a FBW or FBW2.\3\ Pursuant to the Fees
Schedule, the Exchange assesses these facility fees in arrears during
the first week of the following month. For example, a TPH will be
billed in February for use of an FBW or FBW2 in January. Monthly fees
are assessed and applied in their entirety and are not prorated.\4\
Consequently, a TPH that cancels an FBW or FBW2 login ID on January 3
will still be charged the $400.00 fee for all of January on the
February bill.
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\3\ FBW and FBW2 are order management tools used by Floor
Brokers to handle orders on the floor of the Exchange. FBW is a
third-party facility of the Exchange. As provided in the Notes
section of the FBW2 line-item, for every FBW login a TPH has, the
FBW2 fee will be waived on a one-to-one basis for the months of July
2015 through September 2015.
\4\ See Fees Schedule, footnote 28.
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The Exchange proposes to make changes to the Facility Fees section
of the Fees Schedule in the Notes of the FBW and FBW2 line-items to add
that FBW and FBW2 login IDs will be renewed automatically for the next
month unless the TPH submits written notification to the Market
Operations Department by 3:00 p.m. CT on the second-to-last business
day of the prior month.\5\ This change would be effective immediately
and apply to FBW and FBW2 cancellations beginning September 1, 2015.\6\
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\5\ The proposed new language would read FBW and FBW2 ``login
IDs will be renewed automatically for the next month unless the TPH
submits written notification to the Market Operations Department by
3:00 p.m. CT on the second-to-last business day of the prior month
to cancel the FBW or FBW2 login ID at or prior to the end of the
applicable month.''
\6\ Effective September 1, 2015, FBW and FBW2 login IDs will be
renewed automatically for the next month unless the Trading Permit
Holder (TPH) submits written notification to the Market Operations
Department by 3:00 p.m. (CT) on the second-to-last business day of
the prior month. Requests for cancellation of logins for the FBW and
FBW2 must be specified on the Exchange's new FBW Login Cancellation
Form, which is being adopted concurrently with this filing and can
be found at https://www.cboe.org/members/generalinfo/memberforms.aspx and emailed to fbwcancel@cboe.com by 3:00 p.m. (CT)
two business days prior to the intended inactivation date. Please
note that in addition to specifying whether the cancellation will
apply to an FBW (legacy) login or FBW2, FBW and FBW2 users will be
asked to specify whether the risk limits associated with the
particular FBW or FBW2 login should be suspended as well. A copy of
the new Floor Broker Workstation (FBW) Login Cancellation Form is
attached as Exhibit 3 to this filing.
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Currently, the Fees Schedule makes clear that monthly fees are
assessed and applied in their entirety and not prorated, but gives no
time or day by which such cancellation must be received by the
Exchange. Accordingly, so long as a work request is received before the
end of the last second of the day before the end of the month, a TPH
may cancel an FBW or FBW2 login ID for that month.\7\ As a third-party
facility of the Exchange, however, cancellation requests received at
the eleventh hour of the last day of the month cannot always be
processed easily in time. Without ample time to decommission these
logins, the Exchange is more susceptible to configuration and
unauthorized access issues. The Exchange proposes this change to ensure
that there is ample time for the Exchange to process such requests
prior to the end of the month and ensure that cancellations are
completed before the end of the month for which the TPH will be billed.
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\7\ FBW is being decommissioned on October 31, 2015.
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2. Statutory Basis
The Exchange believes the proposed rule change is consistent with
the Act and the rules and regulations thereunder applicable to the
Exchange and, in particular, the requirements of Section 6(b) of the
Act.\8\ Specifically, the Exchange believes the proposed rule change is
consistent with the Section 6(b)(5) \9\ requirements that the rules of
an exchange be designed to prevent fraudulent and manipulative acts and
practices, to promote just and equitable principles of trade, to foster
cooperation and coordination with persons engaged in regulating,
clearing, settling, processing information with respect to, and
facilitating transactions in securities, to remove impediments to and
perfect the mechanism of a free and open market and a national market
system, and, in general, to protect investors and the public interest.
Additionally, the Exchange believes the proposed rule change is
consistent with the Section 6(b)(5) \10\ requirement that the rules of
an exchange not be designed to permit unfair discrimination between
customers, issuers, brokers, or dealers.
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\8\ 15 U.S.C. 78f(b).
\9\ 15 U.S.C. 78f(b)(5).
\10\ Id.
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In particular, the Exchange believes that the proposal to require
that FBW and FBW2 login IDs will be renewed automatically for the next
month unless the TPH submits written notification to the Market
Operations Department by 3:00 p.m. CT on the second-to-last business
day of the prior month to

[[Page 57027]]

cancel the FBW or FBW2 login ID effective at or prior to the end of the
applicable month is equitable and not unfairly discriminatory as it
applies to all TPHs that have an FBW or FBW2 login ID and wish to
cancel an FBW or FBW2 login ID effective prior to the end of a month.
The Exchange believes the proposed rule change protects investors and
the public interest by helping the Exchange to more easily ensure that
configuration and unauthorized access issues are averted. The Exchange
believes that the proposed rule change is fair and reasonable because
it only requires that TPHs have the aforethought to know how many login
IDs they will need for the next month two business days prior to the
end of each month and inform the Exchange at that time.

B. Self-Regulatory Organization's Statement on Burden on Competition

The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act. The Exchange does not
believe that the proposed rule changes will impose any burden on
intramarket competition that is not necessary or appropriate in
furtherance of the purposes of the Act because the proposed changes
apply to all FBW and FBW2 users. Moreover, the Exchange does not
believe that the $400.00 monthly charge that would apply to FBW and FBW
[sic] users that do not submit written notification to the Market
Operations Department by 3:00 p.m. CT on the second-to-last business
day of the prior month to cancel the FBW or FBW2 login ID effective at
or prior to the end of the applicable month is of a nature that is
large enough to discourage the use of FBW or FBW2 or which would impose
a burden on competition. The Exchange does not believe that the
proposed rule changes will impose any burden on intermarket competition
that is not necessary or appropriate in furtherance of the purposes of
the Act because these changes apply to billing and fees that affect
CBOE only, not other exchanges. Further, to the extent that the
proposed changes ensure that configuration issues do not occur or
affect Floor Brokers on the Exchange, such market participants may be
more likely to operate on the Exchange.

C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others

The Exchange neither solicited nor received written comments on the
proposed rule change.

III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action

The foregoing rule change has become effective pursuant to Section
19(b)(3)(A) of the Act \11\ and paragraph (f) of Rule 19b-4 \12\
thereunder. At any time within 60 days of the filing of the proposed
rule change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission will institute proceedings to
determine whether the proposed rule change should be approved or
disapproved.
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\11\ 15 U.S.C. 78s(b)(3)(A).
\12\ 17 CFR 240.19b-4(f).
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IV. Solicitation of Comments

Interested persons are invited to submit written data, views, and
arguments concerning the foregoing, including whether the proposed rule
change is consistent with the Act. Comments may be submitted by any of
the following methods:

Electronic Comments

Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
Send an email to rule-comments@sec.gov. Please include
File Number SR-CBOE-2015-075 on the subject line.

Paper Comments

Send paper comments in triplicate to Secretary, Securities
and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090.

All submissions should refer to File Number SR-CBOE-2015-075. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549 on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of the filing also will be available
for inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File Number SR-CBOE-2015-075 and should be
submitted on or before October 13, 2015.

For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\13\
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\13\ 17 CFR 200.30-3(a)(12).
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Brent J. Fields,
Secretary.
[FR Doc. 2015-23527 Filed 9-18-15; 8:45 am]
BILLING CODE 8011-01-P

57026 Federal Register / Vol. 80, No. 182 / Monday, September 21, 2015 / Notices

SECURITIES AND EXCHANGE Exchange proposes to make changes to Currently, the Fees Schedule makes
COMMISSION the Facility Fees section of the Fees clear that monthly fees are assessed and
Schedule and in particular, the Notes applied in their entirety and not
[Release No. 34–75923; File No. SR–CBOE–
2015–075]
section associated with the Floor Broker prorated, but gives no time or day by
Workstation (‘‘FBW’’) and Floor Broker which such cancellation must be
Self-Regulatory Organizations; Workstation 2 (‘‘FBW2’’) line-items. received by the Exchange. Accordingly,
Chicago Board Options Exchange, Pursuant to that section, the Exchange so long as a work request is received
Incorporated; Notice of Filing and charges a Trading Permit Holder before the end of the last second of the
Immediate Effectiveness of a Proposed (‘‘TPH’’) a monthly fee of $400.00 per day before the end of the month, a TPH
Rule Change To Amend the Fees login ID per month for the use of a FBW may cancel an FBW or FBW2 login ID
Schedule or FBW2.3 Pursuant to the Fees for that month.7 As a third-party facility
Schedule, the Exchange assesses these of the Exchange, however, cancellation
September 15, 2015. facility fees in arrears during the first requests received at the eleventh hour of
Pursuant to Section 19(b)(1) of the week of the following month. For the last day of the month cannot always
Securities Exchange Act of 1934 example, a TPH will be billed in be processed easily in time. Without
(‘‘Act’’),1 and Rule 19b–4 thereunder,2 February for use of an FBW or FBW2 in ample time to decommission these
notice is hereby given that on January. Monthly fees are assessed and logins, the Exchange is more susceptible
September 2, 2015, Chicago Board applied in their entirety and are not to configuration and unauthorized
Options Exchange, Incorporated prorated.4 Consequently, a TPH that access issues. The Exchange proposes
(‘‘Exchange’’ or ‘‘CBOE’’) filed with the cancels an FBW or FBW2 login ID on this change to ensure that there is ample
Securities and Exchange Commission January 3 will still be charged the time for the Exchange to process such
(‘‘Commission’’) the proposed rule $400.00 fee for all of January on the requests prior to the end of the month
change as described in Items I and II February bill. and ensure that cancellations are
below, which Items have been prepared The Exchange proposes to make completed before the end of the month
by the Exchange. The Commission is changes to the Facility Fees section of for which the TPH will be billed.
publishing this notice to solicit the Fees Schedule in the Notes of the
comments on the proposed rule change FBW and FBW2 line-items to add that 2. Statutory Basis
from interested persons. FBW and FBW2 login IDs will be The Exchange believes the proposed
I. Self-Regulatory Organization’s renewed automatically for the next rule change is consistent with the Act
Statement of the Terms of Substance of month unless the TPH submits written and the rules and regulations
the Proposed Rule Change notification to the Market Operations thereunder applicable to the Exchange
Department by 3:00 p.m. CT on the and, in particular, the requirements of
The Exchange proposes to amend its second-to-last business day of the prior Section 6(b) of the Act.8 Specifically,
Fees Schedule. The text of the proposed month.5 This change would be effective the Exchange believes the proposed rule
rule change is available on the immediately and apply to FBW and change is consistent with the Section
Exchange’s Web site (http:// FBW2 cancellations beginning 6(b)(5) 9 requirements that the rules of
www.cboe.com/AboutCBOE/ September 1, 2015.6 an exchange be designed to prevent
CBOELegalRegulatoryHome.aspx), at
fraudulent and manipulative acts and
the Exchange’s Office of the Secretary, 3 FBW and FBW2 are order management tools
practices, to promote just and equitable
and at the Commission’s Public used by Floor Brokers to handle orders on the floor
of the Exchange. FBW is a third-party facility of the principles of trade, to foster cooperation
Reference Room.
Exchange. As provided in the Notes section of the and coordination with persons engaged
II. Self-Regulatory Organization’s FBW2 line-item, for every FBW login a TPH has, the in regulating, clearing, settling,
Statement of the Purpose of, and FBW2 fee will be waived on a one-to-one basis for
the months of July 2015 through September 2015.
processing information with respect to,
Statutory Basis for, the Proposed Rule 4 See Fees Schedule, footnote 28. and facilitating transactions in
Change 5 The proposed new language would read FBW securities, to remove impediments to
In its filing with the Commission, the and FBW2 ‘‘login IDs will be renewed automatically and perfect the mechanism of a free and
for the next month unless the TPH submits written open market and a national market
Exchange included statements notification to the Market Operations Department
concerning the purpose of and basis for by 3:00 p.m. CT on the second-to-last business day
system, and, in general, to protect
the proposed rule change and discussed of the prior month to cancel the FBW or FBW2 investors and the public interest.
any comments it received on the login ID at or prior to the end of the applicable Additionally, the Exchange believes the
month.’’ proposed rule change is consistent with
proposed rule change. The text of these 6 Effective September 1, 2015, FBW and FBW2
statements may be examined at the login IDs will be renewed automatically for the next
the Section 6(b)(5) 10 requirement that
places specified in Item IV below. The month unless the Trading Permit Holder (TPH) the rules of an exchange not be designed
Exchange has prepared summaries, set submits written notification to the Market to permit unfair discrimination between
Operations Department by 3:00 p.m. (CT) on the customers, issuers, brokers, or dealers.
forth in sections A, B, and C below, of second-to-last business day of the prior month.
the most significant aspects of such Requests for cancellation of logins for the FBW and
In particular, the Exchange believes
statements. FBW2 must be specified on the Exchange’s new that the proposal to require that FBW
FBW Login Cancellation Form, which is being and FBW2 login IDs will be renewed
A. Self-Regulatory Organization’s adopted concurrently with this filing and can be automatically for the next month unless
Statement of the Purpose of, and found at https://www.cboe.org/members/
generalinfo/memberforms.aspx and emailed to
the TPH submits written notification to
Statutory Basis for, the Proposed Rule fbwcancel@cboe.com by 3:00 p.m. (CT) two the Market Operations Department by
Change
rmajette on DSK7SPTVN1PROD with NOTICES

business days prior to the intended inactivation 3:00 p.m. CT on the second-to-last
date. Please note that in addition to specifying business day of the prior month to
1. Purpose whether the cancellation will apply to an FBW
The Exchange proposes to amend the (legacy) login or FBW2, FBW and FBW2 users will 7 FBW is being decommissioned on October 31,
be asked to specify whether the risk limits
Fees Schedule. Specifically, the associated with the particular FBW or FBW2 login 2015.
8 15 U.S.C. 78f(b).
should be suspended as well. A copy of the new
1 15 U.S.C. 78s(b)(1). 9 15 U.S.C. 78f(b)(5).
Floor Broker Workstation (FBW) Login Cancellation
2 17 CFR 240.19b–4. Form is attached as Exhibit 3 to this filing. 10 Id.

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Federal Register / Vol. 80, No. 182 / Monday, September 21, 2015 / Notices 57027

cancel the FBW or FBW2 login ID C. Self-Regulatory Organization’s communications relating to the
effective at or prior to the end of the Statement on Comments on the proposed rule change between the
applicable month is equitable and not Proposed Rule Change Received From Commission and any person, other than
unfairly discriminatory as it applies to Members, Participants, or Others those that may be withheld from the
all TPHs that have an FBW or FBW2 The Exchange neither solicited nor public in accordance with the
login ID and wish to cancel an FBW or received written comments on the provisions of 5 U.S.C. 552, will be
FBW2 login ID effective prior to the end proposed rule change. available for Web site viewing and
of a month. The Exchange believes the printing in the Commission’s Public
III. Date of Effectiveness of the Reference Room, 100 F Street NE.,
proposed rule change protects investors Proposed Rule Change and Timing for
and the public interest by helping the Washington, DC 20549 on official
Commission Action business days between the hours of
Exchange to more easily ensure that
configuration and unauthorized access The foregoing rule change has become 10:00 a.m. and 3:00 p.m. Copies of the
effective pursuant to Section 19(b)(3)(A) filing also will be available for
issues are averted. The Exchange
of the Act 11 and paragraph (f) of Rule inspection and copying at the principal
believes that the proposed rule change
19b–4 12 thereunder. At any time within office of the Exchange. All comments
is fair and reasonable because it only 60 days of the filing of the proposed rule received will be posted without change;
requires that TPHs have the change, the Commission summarily may the Commission does not edit personal
aforethought to know how many login temporarily suspend such rule change if identifying information from
IDs they will need for the next month it appears to the Commission that such submissions. You should submit only
two business days prior to the end of action is necessary or appropriate in the information that you wish to make
each month and inform the Exchange at public interest, for the protection of available publicly. All submissions
that time. investors, or otherwise in furtherance of should refer to File Number SR–CBOE–
B. Self-Regulatory Organization’s the purposes of the Act. If the 2015–075 and should be submitted on
Commission takes such action, the or before October 13, 2015.
Statement on Burden on Competition
Commission will institute proceedings For the Commission, by the Division of
The Exchange does not believe that to determine whether the proposed rule Trading and Markets, pursuant to delegated
the proposed rule change will impose change should be approved or authority.13
any burden on competition that is not disapproved. Brent J. Fields,
necessary or appropriate in furtherance IV. Solicitation of Comments Secretary.
of the purposes of the Act. The Interested persons are invited to [FR Doc. 2015–23527 Filed 9–18–15; 8:45 am]
Exchange does not believe that the submit written data, views, and BILLING CODE 8011–01–P
proposed rule changes will impose any arguments concerning the foregoing,
burden on intramarket competition that including whether the proposed rule
is not necessary or appropriate in change is consistent with the Act. SMALL BUSINESS ADMINISTRATION
furtherance of the purposes of the Act Comments may be submitted by any of
because the proposed changes apply to the following methods: Data Collection Available for Public
all FBW and FBW2 users. Moreover, the Comments
Exchange does not believe that the Electronic Comments
• Use the Commission’s Internet 60-day notice and request for
ACTION:
$400.00 monthly charge that would
comment form (http://www.sec.gov/ comments.
apply to FBW and FBW [sic] users that
do not submit written notification to the rules/sro.shtml); or SUMMARY: The Small Business
Market Operations Department by 3:00 • Send an email to rule-comments@ Administration (SBA) intends to request
p.m. CT on the second-to-last business sec.gov. Please include File Number SR– approval, from the Office of
day of the prior month to cancel the CBOE–2015–075 on the subject line. Management and Budget (OMB) for the
FBW or FBW2 login ID effective at or Paper Comments collection of information described
prior to the end of the applicable month • Send paper comments in triplicate below. The Paperwork Reduction Act
is of a nature that is large enough to to Secretary, Securities and Exchange (PRA) of 1995, 44 U.S.C. Chapter 35
discourage the use of FBW or FBW2 or Commission, 100 F Street NE., requires federal agencies to publish a
which would impose a burden on Washington, DC 20549–1090. notice in the Federal Register
competition. The Exchange does not concerning each proposed collection of
All submissions should refer to File
believe that the proposed rule changes information before submission to OMB,
Number SR–CBOE–2015–075. This file
will impose any burden on intermarket and to allow 60 days for public
number should be included on the
competition that is not necessary or comment in response to the notice. This
subject line if email is used. To help the
notice complies with that requirement.
appropriate in furtherance of the Commission process and review your
purposes of the Act because these DATES: Submit comments on or before
comments more efficiently, please use
changes apply to billing and fees that only one method. The Commission will November 20, 2015.
affect CBOE only, not other exchanges. post all comments on the Commission’s ADDRESSES: Send all comments to
Further, to the extent that the proposed Internet Web site (http://www.sec.gov/ Daniel Upham, Chief, Microenterprise
changes ensure that configuration issues rules/sro.shtml). Copies of the Development Division, Office of Capital
do not occur or affect Floor Brokers on submission, all subsequent Access, Small Business Administration,
rmajette on DSK7SPTVN1PROD with NOTICES

amendments, all written statements 409 3rd Street, 8th Floor, Washington,
the Exchange, such market participants
with respect to the proposed rule DC 20416.
may be more likely to operate on the
change that are filed with the FOR FURTHER INFORMATION CONTACT:
Exchange.
Commission, and all written Daniel Upham, Chief, Microenterprise
Development Division, 202–205–7001,
11 15 U.S.C. 78s(b)(3)(A).
12 17 CFR 240.19b–4(f). 13 17 CFR 200.30–3(a)(12).

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Document Created: 2015-12-15 09:38:29
Document Modified: 2015-12-15 09:38:29

Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
FR Citation		80 FR 57026